Effective Date: 12/7/98
Cross Reference: 03.02.01 Record Retention
The case record shall constitute an official record of the Department concerning clients and providers. The case record shall indicate the basis for determination of eligibility for the Child Care Assistance Program (CCAP). Agencies shall maintain ongoing records regarding CCAP eligibility and participation in the program until the closure of the case and for a minimum of five (5) years thereafter. Cases with an active overpayment, on-going investigation, audit outstanding hearing, and a claim in progress or expected must be held until the claim has been satisfied, the investigation has been dispositioned, or the hearing process has been completed. Case records and documentation associated with fraud and intentional program violation are permanents are considered permanent records and must not be destroyed without Department approval.
The minimum requirements for documents that comprise a client's case record are:
- Copy of Valid Identification
- Child Care Application - Form IL444-3455, Form IL444-3455S*
- Approval of Request for Child Care Payments - Form IL444-3455A, IL444-3455AS*
- Denial of Request for Child Care Payments - Form IL444-4179, IL444-4179S*
- Notice of Cancellation for Child Care Payments - Form IL444-4178, IL444-4178S*
- Notice of Provider Cancellation from Child Care Case - Form IL444-4590
- Child Care Certificates - Form IL444-3492, IL444-3492A, or IL444-3492B
- Request for Additional Information - Form IL444-4480, IL444-4480S*
- Request for a Child Care Provider Change - Form IL444-3455G, IL444-3455GS*
- Request for Redetermination Information - Form IL444-3455E, IL444-3455ES*
- Two most recent and consecutive pay stubs or other income documentation
- IDHS Income Calculation Spreadsheet
- Case Notes and Call Logs
- All documentation relevant to all eligibility determinations
- If applicable, Responsibility and Service Plan (RSP) IL444-4003, or other appropriate Family Community Resource Center (FCRC) documentation
* Indicates Spanish version of the form.
CCR&R Directors and Site Administered Providers must establish adequate internal controls to ensure that case records are logically organized and maintained. The Department, and other authorized reviewers must be able to identify that the initial and continued eligibility requirements are met, and that there is communication and documentation to support all actions relating to the case. CCAP case records must be maintained separately from other program related case records.
A case record may also contain other information in addition to the minimum requirements. When possible, documents comprising the file should be original. Documents submitted by the client or provider must be complete; this includes attestations and signatures. All CCMS generated forms are stored electronically in the CCMS Documents tab.